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Employer firm

B. Riley Wealth Advisors, Inc. CRD 115927

$4.21B regulatory AUM 40 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
B. Riley Wealth Advisors, Inc.

40 S. Main St. Suite 1600, Memphis, TN 38103 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2018-07-02
  • FL RA
    APPROVED
    Since 2018-07-02

Branch Locations

Boynton Beach, FL • United States

5000 T-Rex Ave. Suite 300, Boca Raton, FL 33421 • United States

Boynton Beach, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Scottrade Coral Springs FL 06/2016 03/2018
National Securities Corp Boca Raton FL 05/2018 07/2022
National Asset Management Boca Raton FL 06/2018 07/2022
B. Riley Wealth Management Boca Raton FL 07/2022 Present
B. Riley Wealth Advisors Memphis TN 07/2022 Present
  • 06/2016 → 03/2018
    Scottrade
    Coral Springs, FL
  • 05/2018 → 07/2022
    National Securities Corp
    Boca Raton, FL
  • 06/2018 → 07/2022
    National Asset Management
    Boca Raton, FL
  • 07/2022 → Present
    B. Riley Wealth Management
    Boca Raton, FL
  • 07/2022 → Present
    B. Riley Wealth Advisors
    Memphis, TN
Previous Registrations
  • 2017-04-14 → 2018-03-09
    Scottrade Investment Management
    Coral Springs, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-04-08
S63 Uniform Securities Agent State Law Examination 2008-07-28
  • S66 Uniform Combined State Law Examination
    2017-04-08
  • S63 Uniform Securities Agent State Law Examination
    2008-07-28
Other Names
  • John C Cannella

View on SEC IAPD

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